Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lyon is a financial professional with over 25 years of experience in the industry. David is currently registered as an Investment Advisor Representative (IAR) with J.P. Morgan Securities LLC. He is also a registered representative in multiple states. Previously, David was affiliated with J.P. MORGAN SECURITIES INC. and SUTRO & CO. INCORPORATED. David has a broad range of licenses and exams, including Series 7, 9, 10, 63, and 65. He is also a member of the University of San Francisco Board of Directors Investment Committe. David specializes in providing financial advice and portfolio management services to individuals, high-net-worth individuals, corporations, charitable organizations, and pension plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
01/18/2023 - Present
J.p. Morgan Securities LLC (San Francisco CA)
CA
05/10/2000 - 10/01/2008
J.P. MORGAN SECURITIES INC. (SAN FRANCISCO CA)
CA
11/08/1996 - 05/17/2000
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
IA
Issued 01/13/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/15/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/02/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/29/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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